Job Title: Associate/Manager (focus area: securities)
Job Type: Full Time
Location: Washington, D.C.
Summary: Patomak Global Partners, LLC is looking for a mid-level professional at the Associate/Manager level to work on compliance and regulatory strategy issues for financial industry clients, particularly broker-dealers, investment advisers, private equity firms, fintech companies, and digital asset trading platforms. The Associate/Manager may also support expert witness engagements related to securities litigation, as needed. The ideal candidate will have relevant SEC, FINRA or State Securities experience, and/or experience at a law firm working on securities matters or consulting firm.
Position Responsibilities:
- Participate and lead reviews assessing client compliance programs focusing on specific hot topics and regulatory requirements across registered entities and jurisdictions (e.g., off-channel communications, trade surveillance, AML, best execution, disclosures, valuations, market access, supervision).
- Assist in the planning for reviews of broker-dealers, investment advisers, investment companies, and other financial entities.
- Provide expert analysis and review of activities related to the federal securities law requirements applicable to broker-dealers, investment advisers, investment companies, and other financial entities.
- Draft and deliver written reports and agreed-upon deliverables to the client.
- Track industry developments, trends, and new and amended SEC and FINRA rules and regulations.
- Draft thought leadership on cutting-edge regulatory developments and financial market events in conjunction with the leading experts in the field.
- Assist in preparing reports and testimony for securities-related expert witness engagements.
- Collaborate with Senior Directors and Managing Directors on business development activities and client relationship management.
Skills, Experience, and Qualifications:
- Familiarity and experience with the application of rules and regulations pursuant to the Securities Exchange Act of 1934 and Investment Advisers Act.
- Excellent writing and editing skills.
- Ability to manage multiple projects concurrently, meet deadlines and deliver a quality product.
- Ability to work in a fast-paced individual and small team environment.
- Ability to establish, maintain, and grow effective working relationships with colleagues and clients.
- Highly motivated and goal-oriented; proactive in one’s own education and career progression; shows initiative.
- Strong organizational, time management, and problem-solving skills.
- “No-job-too-small” collaborative attitude.
- Ability to quickly get up to speed on new topics, regulatory priorities, and rules and regulations.
- Adaptable to new job duties and client demand.
- Positive attitude and desire to learn.
- 3-8 years regulatory or SRO experience (e.g., SEC, FINRA) or private sector (e.g., consulting firm, law firm, compliance department).
- Law degree preferred but not required.
Patomak Global Partners, LLC is an equal opportunity employer and does not discriminate on the basis of race, color, national origin, ancestry, citizenship status, protected veteran status, religion, physical or mental disability, marital status, sex, sexual orientation, gender identity or expression, age, or any other basis protected by law, ordinance, or regulation.
